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Inter Authority Transfer Process (IAT) Overview Inter Authority Transfer (IAT) is an automated process that removes the manual procedures associated with NHS Staff Transfer Forms, and reduces the data entry needed following the appointment of staff from other NHS Trusts. The IAT process revolves around each employee’s Portable Data Set (PDS) which will accompany an individual from one NHS organisation to another.

Benefits • • • • • • • •

Removes the completion and mailing of paper Staff Transfer Forms between NHS Organisations. Reduce the staff transfer processing costs at Organisation level by automation of the process. Reduce the time delay in obtaining current NHS staff information following transfers. Improves the range and quality of data transferred between NHS Organisations. Facilitates the earlier production of Contracts of Employment as a result of more timely and accurate data transfer. Securely transfer immunisations and vaccination checks data at the pre employment stage to Occupational Health Advisors. Transfers pre hire data related to National Statutory and Mandatory competencies to aid induction programmes and remove duplicate training and associated costs. Assists in paying staff correctly from commencement of employment reducing the need for retrospective corrections.

Summary of the IAT Process The IAT process functions in two ways: 1.


Automated IAT – Does not require an Approver at the previous trust to match the person and approve the release of data for the employee. Data is automatically released from the previous trust where they have opted into the automated process and where there is a 100% match on NI, DOB and Last Name for employee concerned. Non Automated IAT – Requires the Approver at the previous trust to match the person and approve the release of the information for the employee.



IAT Initiator Requested IAT Person Confirmation Form appears Click Yes

Search on Person Initiation form

Requested IAT Person Matching form details appear

Receive approval notification & summary data

Match found ‘Approve’

Completion Notification Sent to source And destination trusts

IAT Approver at Source Trust Occupational Health

Statutory & Mandatory Competency Data

Occupational Health administrator receives immunisation details for Applicant

OH examine details to assess suitability for medical clearance

Stat & Mand Competencies Ntf Role Holder receives details for competencies held by applicant

Induction needs assessed

Compare PDS with existing data & select OSP data

PDS copy

Medical Clearance granted – Notification sent to Employment Checklist Role Holder

Update Notification sent again if competency updated

Final Stat & Mand Competency data transferred again at PDS stage

Figure 1 – Automated IAT process flow

Recruitment IAT Initiator

Receive approval notification & summary data

Request PDS

IAT Approver at Source Trust Occupational Health

National Statutory and mandatory competency data

Hire PDS copy

Match PDS request to person & approve IAT

Completion Notification Sent to source And destination trusts

Occupational Health administrator receives immunisation details for Applicant

Stat and Mand Competency Ntf. Role Holder receives details for competencies held by applicant

Compare PDS with existing data & select OSP data

OH examine details to assess suitability for medical clearance

Induction needs assessed

Update Notification sent again if competency updated

Medical Clearance granted – Notification sent to Employment Checklist Role Holder

Final National Stat and Mand Competency data transferred again at PDS stage

Figure 2 – Non Automated IAT process flow

The “Initiator” is the Trust that has offered an existing NHS employee a new position, and the “Approver” is the Trust that currently/previously employs that employee and from where the Employee data will be transferred

Process Steps: 1.



4. 5.


At the end of the ESR Recruitment process, following an offer and acceptance of the new position, the Initiator will request the transfer of the employees Portable Data Set from the Approver. Depending on which IAT process is followed either the Initiator using the Automated IAT or the Approver using the non Auto IAT process will utilise a system search to identify the correct Employee Record. This search is based on a number of identifiers, such as NI Number or Registration Number. Following a successful match, the user will grant authorisation of the transfer of the Portable Data Set to the Initiator. This process will deliver a workflow notification to the Initiator, and will include information that will facilitate the early generation of a contract of employment (e.g. Grade History). In addition the approval will send securely, any pre hire information related to immunisations and checks to the Occupational Health Advisor Role at the initiating trust and will also send separately any National Statutory and Mandatory Competencies that the employee has to the Statutory and Mandatory Role. This pre hire data enables the initiating trust to manage the required health clearance and induction process. The full Portable Data Set can be transferred to the Initiator once the applicant has been hired. Once the copy of the Employee Record is complete, a ‘Portable Data Set Copy Notification’ will be generated, and sent to both the Initiator and the Approver. This shows both the PDS value and the Employee Record value of a number of fields, together with an indicator (Yes or No) as to whether the Employee Record was successfully updated. To enable the accurate determination of sickness entitlement, a process called IAT (OSP) Occupational Sick Pay Transfers has been created. This is a menu option available to the Initiator and allows analysis of a previous absence record in order to determine the correct entitlement at the new employer.

What it looks like 1. Initiate Request

2. Match Person

3. Approve Copy PDS

The IAT process contains three steps: Example screens for each of these steps are shown as follows:

1. Initiate the Request The IAT request should be initiated when the applicant has a status of ‘Offer Post Conditional’ a prompt will appear if a possible match is found, advising users to consider running the IAT process. It can also be requested after the applicant has been directly hired as an employee.

Enter the name of the person the IAT is for. Where there is a 100% match found the ‘Auto Person Match’ button is enabled.

By clicking the “Auto Person Match” button all matched records are displayed, showing the applicant details and a listing of employees at the Approver (including ex-employees) that appear to have matching details. Matched records section provides details such as NI Number, Name, Professional Registration Number etc., than be used to accurately match the person to the right record.

2. Match the person Where the Auto Match Process is enabled, the IAT person matching form appears to the Initiator. The matching form is used to correctly identify and confirm the selection of the correct person. The form will identify whether the approver has opted into the Automated IAT process.

Note: The Non Automated form has a different view and will require the initiator to search for the required trust and is used where a 100% match was not possible for the person. The form will list all organisations where person data has been found, with NI matches at the top of the list

3. Approve Copy of Portable Data Set (PDS) If the Initiator (using Auto IAT process) or the Approver (using non auto-IAT process) is happy with the person matching they click the ‘Approve’ button. For the Automated process this will bring up the ‘IAT Person Confirmation’ form immediately. For the Non Automated process, the approver will be able to access the matching and confirmation forms via the workflow notification sent to them. This means that the initiator will have to wait for the approver to action the request.

Initiator/ Approver will compare the matched and requested person data for final approval. To confirm the match click ‘Yes’ and the Portable Data Set will be released to the Initiator.

Receiving the Portable Data Set - Requesting Employing Authority After approval either by the Previous Employing Authority for non Auto IATs or using the Automated IAT process, the IAT Initiator Role Holder/s at the Requesting Employing Authority will receive the following workflow notification.

Click on the ‘Portable Data Set Request Authorisation‘ hyperlink in the Subject area of the notification that applies to the employee to open the Notification Details window.

If the Initiator is satisfied that this is the correct person the copy can be completed by clicking on the Perform Portable Data Set Copy button. This can only be completed for Employee records.

The employee’s record in the Requesting Employing Authority will be updated with the information contained in the Portable Data Set. The principle behind IAT is that only missing details are overwritten in the new record, so where details capturing during recruitment are present they are not replaced with details from the previous employer.

Completion Notification Once the information has been copied to the core system, both the Initiator and the Approver receive a completion notification.

This notification will show data held in ESR by the employee record before and after the Portable Data Set copy has occurred and also advises if Occupational Sick Pay (OSP) data has been taken as part of the PDS.

Contents of the Personal Data Set Personal Data


Payroll Information

Employment History

Last Name First Name Title Middle Name Marital Status Nationality Preferred Name Previous Last Name Maiden Name Date of Birth National Insurance Number

Type of Qualification Title of Qualification Status Grade Achieved Start Date End Date Award Date Subject Details: Subject Status Start Date End Date Grade

Payroll Elements Pension Additional Years Redundancy payment indicator

Employer Name Address Country Type Description Previous Job/ Start Date/End Date Job or Role Employee Category Previous Job – Years Previous Job – Months Previous Job - Days Employment Category Grade Scale Point Salary Hours Occupation Code Position (Post Title) Incremental Date WTE Reason for Leaving Regular User Yes/No Total of regular user miles Total of standard user miles

Service Dates Address Data Date of Entry to NHS Previous Trust Pension End Date

Address Type Address Lines 1-3 Town County Postcode Country

Competencies Competence Name Proficiency Level Data Valid From – To Source of Proficiency Rating Certification Method Certification Date Certification Next Review

Training Title of Course Date of Course Duration Duration Units Status Supplier Source Indicator

Reporting There are four IAT specific reports available for users: • • • •

NHS IAT Operations Tracking Report – allows you track the status of an IAT NHS IAT Detailed Data Set Report – Reports on all data transferred in the Portable Data Set NHS IAT Exceptions Report – Reports on all data exceptions e.g. personal details provided but not updated as a value already exists NHS IAT Audit Report – Reports on all inbound and outbound IATs and identifies those subject to the automated IAT process

Further Information Further information can be obtained from the links below: Links ESR Website ESR User Manual (N3 Only) Kbase